Paul Merolla, who has substantial experience advising financial institutions issues relating to trading, sales and research; equities and fixed income products; market structure and compliance, will speak on Institutional Fixed Income.
- SEC Fixed Income Regulatory Developments
- Sales and Trading Communications with Clients
- Best Execution & Market Transparency and Markups
- Treasury Markets Best Practices Group Recommendations on Information Handling
- Electronic Trading, Conduct Risk and Market Access Controls
SIFMA’s C&L Annual Seminar is the premier event for compliance and legal professionals working in the financial services industry. Industry leaders and regulators to gather for three days of information sharing, networking and collaboration.
Event Link: https://www.sifma.org/event/clannual/